Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of
the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for
depositors, or between a depositor’s house account and customer account, notify the central securities depository or the Bank of Thailand, as the case may be, whether such transfer is made in connection with a
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between work units and personnel of a securities
giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 16 Repealed. Division 2 Opening of Derivatives Trading Account and Acting as a
subclause (1), such information shall be revised and updated at the first available opportunity; (4)1 in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary